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DEVELOPMENTS IN PRACTICE AREAS

RECENT LITIGATIONS

CASE NAME DOCKET # ROLE
BLACKBOOK CAPITAL LLC.
v. ASAD FARRAJ
FINRA NO. 14-01576 CLAIMANT’S COUNSEL
ARTHUR & LOUISE WICKETT,
et. al., v. BLACKBOOK CAPITAL LLC.
and STEVEN WANEK.
FINRA NO. 14-03854 CLAIMANT’S COUNSEL
BLACKBOOK CAPITAL LLC.
v. AHMED GADELKAREEM.
FINRA NO. 14-018125 CLAIMANT’S COUNSEL
AHMED GADELKAREEM v.
BLACKBOOK CAPITAL LLC
CIVIL COURT OF STATE
OF NEW YORK,
CV-2230 SCNY – 2-14-41
DEFENSE COUNSEL
AHMED GADELKAREEEM
v. BLACKBOOK CAPITAL LLC
CIVIL COURT OF STATE
OF NEW YORK,
CV – 2230-2-14-1
DEFENSE COUNSEL
WADDELL JEFFERIES v.
LEGEND SECURITIES, INC. et. al.
FINRA NO. 15-00994 DEFENSE COUNSEL
MAYNARD AXELSON v.
CHARLES VISTA LLC.,
DENNIS HERERRA et. al.
FINRA 15-02066 DEFENSE COUNSEL
BLACKBOOK CAPITAL LLC.
v. DR ALFRED WOODARD
FINRA NO. 14-03758 CLAIMANT’S COUNSEL
BLACKBOOK CAPITAL LLC.
v. JACOB RUSSO
FINRA NO. 15-00562 CLAIMANT’S COUNSEL
RICHARD BERGHOLDT
v. BLACKBOOK CAPITAL LLC., et. al
FINRA NO. 15-00785 DEFENSE COUNSEL
GREGORY MARTINO and
CHRISTOPHER GRIFFITH
v. BLACKBOOK CAPITAL LLC., et al.
FINRA 15-00607 DEFENSE COUNSEL
ANDY ALTAHWI and
DANDANA LLC v.
STATE OF NEW JERSEY,
DEPARTMENT OF THE TREASURY.
SUP. CT OF NJ CHANCERY DIVISION
DOCKET # C-159-16
PLAINTIFF’S COUNSEL
DREAM USA UNLIMITED CORP.,v. ELIZABETH DOHERTY, et. al SUP. CT. OF NJ LAW DIVISION,
BERGEN COUNTY SP. CIV.
PART, # BER-LT-5634-16
DEFENSE COUNSEL

SECURITIES AND EXCHANGE COMMISSION
VS
PETROGAS OVERSEAS TRADING, LP

4-10 CV -395-A (N.D. TX) 

DEFENSE COUNSEL

UNITED STATES OF AMERICA
V
JEROME OSBERGER
(US DISTRICT COURT D. NEBRASKA)

8:08CR289

PLAINTIFF’S COUNSEL IN PRE-INDICTMENT CIVIL ACTION AGAINST OSBERGER’S BANKS. ASSISTED LEAD COUNSEL IN THE CRIMINAL PROCEEDINGS.

RECENT SEC FILINGS

ISSUER TYPE STATUS
ALLIANCE FREIGHT LINES INC FORM 1-A QUALIFIED/EFFECTIVE
TAHAWI AIRCRAFT CORP FORM 1-A QUALIFIED/EFFECTIVE
PHOENIX REALTY, INC. FORM 1-A QUALIFIED/EFFECTIVE
WALL STREET ACQUISITIONS CORP FORM 10 COMPLETED / EFFECTIVE

Recently Completed FINRA Investigations

Mr. Ogele represented Mr. KW in a recent FINRA investigation for churning, excessive trading, excessive commission and cost-equity ratio and other alleged violations. The investigation including responding to regulatory inquiries and appearance for On-the-Record Interview during which FINRA Enforcement Staff took deposition of KW. The investigation was subsequently dismissed and filed without action as a result of Mr. Ogele’s vigorous defense of KW. Successful defense of KW was possible because of Mr. Ogele’s extensive understanding of brokerage industry rules and regulations and industry practices.

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We also represent individuals seeking to form broker-dealers, hedge funds, investments advisers and provide on-going compliance services to such entities. The unique advantage we bring to the service of our clients is hands on experience.

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